SEC Form 4 · accession 0001719844-18-000006
National Vision Holdings, Inc. · EYE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick R. Moore
Officer — SVP, Chief Financial Officer
Period of report
Aug 2, 2018
Accepted (ET)
Aug 2, 2018 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001710155
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $4.27 | Aug 2, 2018 | A | 8,010 | A | — | Sep 16, 2024 | Common Stock | 8,010 | 128,160 | D |
Explanation of responses
- F1On September 16, 2014, the reporting person was granted stock options, subject to time-based and performance-based vesting. On August 2, 2018, a liquidity event with respect to such performance-based stock options occurred as a result of sales by the Issuer's sponsor stockholders and 8,010 stock options which had previously not been reported were deemed earned.
- F2Of the 128,160 stock options reported herein, 106,800 are vested and the remaining 21,360 time-based stock options will vest on March 13, 2019. An additional 96,121 stock options which remain subject to liquidity-event performance-based vesting conditions are not included in the table above.